Advertising Compliance & Supervision Analyst

Mohr Talent; Tempe (AZ); Hybrid; USD 85,000 - 105,000; Full time

Benefits offered by this job

Hybrid schedule available

Remote work considered for licensed

Job summary

Mohr Talent is seeking an experienced Advertising & Supervision Analyst to join the Compliance and Supervision team in Tempe, AZ. The role focuses on reviewing advertising, marketing materials, and outside business activities to ensure alignment with FINRA and SEC rules.

The ideal candidate will have strong analytical, collaborative, and regulatory interpretation skills, with extensive experience in a broker-dealer and RIA environment.

Qualifications

• Minimum 5+ years of industry experience in Advertising compliance, Broker-dealer compliance, RIA compliance, and Financial services supervision.
• Strong understanding of FINRA advertising regulations and SEC Marketing Rule requirements.
• Experience reviewing Marketing materials, Sales literature, Digital advertising and financial professional correspondence.
• Experience filing advertising materials with FINRA.
• Dual-registrant environment experience preferred.

Responsibilities

• Review and supervise Sales literature, Marketing materials, Advertising content, Written and electronic correspondence, Outside business activities (OBA).
• Provide subject matter expertise regarding FINRA and SEC advertising regulations and internal compliance standards.
• Assist financial professionals in aligning content with regulatory requirements and firm policies.
• File advertising and communications materials with FINRA as required.
• Support development and maintenance of Supervisory procedures, Compliance controls, Training materials, and content libraries.

Skills

Advertising compliance

Broker-dealer compliance

RIA compliance

Financial services supervision

Analytical

Communication skills

Education

Bachelor's degree

Job description

Mohr Talent is seeking an experienced Advertising & Supervision Analyst to join the Compliance and Supervision team in Tempe, AZ. The role focuses on reviewing advertising, marketing materials, and outside business activities to ensure alignment with FINRA and SEC rules.

The ideal candidate will have strong analytical, collaborative, and regulatory interpretation skills, with extensive experience in a broker-dealer and RIA environment.